FINRA’S COMPLIANCE CALENDAR – DECEMBER 2017

As we are approaching December 2017, you should review FINRA’s compliance calendar to ensure you are aware of the last regulatory filings of the year. If you want to attend any conferences or events before the end of the quarter, there are two upcoming seminars.

DECEMBER 2017

December 1st

New York Region Networking Seminar

December 4th

Short Interest Reporting Due

December 6th -7th

South Region Compliance Seminar

December 8th

Customer Margin Balance Due

December 18th

Deadline for Comment on Regulatory Notice 17-33

Deadline for Comment on Regulatory Notice 17-34

December 19th

Short Interest Reporting Due

December 26th

FOCUS Part II/IIA-Monthly Filings Due

December 29th

SIS Filings Due

Please note, FINRA’s compliance calendar does not include all regulatory and filing responsibilities for firms. Therefore, you should make sure that you check other resources to ensure that you don’t miss any regulatory deadlines. If you are interested in attending the South Region Compliance Seminar, see 2017 South Region Compliance Seminar to register. To register for the New York Region Networking Seminar, see 2017 FINRA New York Region Networking Seminar.